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📁
Business Support
📅
19000552 Requisition #
Job Purpose

The attorney position is in the Legal Department of the NYSE Group businesses of Intercontinental Exchange, Inc. The attorney will provide securities, regulatory, and other legal guidance to the NYSE Group cash equity and options exchanges and related business units, including day-to-day advice to market operations personnel in applicable SRO and SEC rules.

Responsibilities
  • Provide legal and regulatory guidance to business units on application of exchange rules and federal securities laws, primarily with respect to equities and options trading
  • Research, analysis and written work product regarding SEC and self-regulatory organization (SRO) rules, including drafting SRO rules and comment letters in response to SEC proposed rules
  • Provide legal advice to business related to broker-dealer regulation
  • Work with operations and compliance to provide legal guidance on daily events that may implicate SEC and exchange rules
  • Interact with SEC staff as appropriate, including during exams and in response to inquiries
  • Assist with special projects, as needed
Knowledge and Experience
  • Member of New York State Bar
  • 5+ years relevant legal experience
  • Strong communications skills to work with internal business groups and regulatory attorneys
  • Strong writing skills
  • Ability to work independently and as a part of a team
  • Strong knowledge of securities laws
  • Broker-dealer experience a plus
  • Knowledge of equity and options market structure a plus
  • Experience dealing with regulators and compliance personnel a plus

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